SC
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Steve Chen
26 Years of Experience
Arcadia, CA
2 DisclosuresBroker
Steve Chen is a registered investment advisor at Cetera Investment Advisers LLC, based in Arcadia, CA, with 26 years of industry experience. Steve is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10458 advisors
IM Fee
Planning only
Assets Under Management
$256.8B
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Location
1038 S Baldwin Ave, Arcadia, CA, 91007
Get directionsHistory
Regulatory History (2)
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Customer Dispute
June 2008Settled
Customer Dispute
November 2004Settled
Other Business Activities
Steve assists a den leader in planning and leading Boy Scout activities, dedicating minimal time per week without compensation.
Employment History
Current Registrations
Cetera Investment Advisers LLC
August 2014 - Present · 12 yrs 2 mos
Cetera Investment Services LLCBroker
August 2014 - Present · 12 yrs 2 mos
Previous Registrations
Cuso Financial Services, L.P.Broker
April 2014 - July 2014 · 3 mos
Cuso Financial Services, L.P.
April 2014 - July 2014 · 3 mos
U.S. Bancorp Investments, INC.
September 2013 - April 2014 · 7 mos
U.S. Bancorp Investments, INC.Broker
September 2013 - April 2014 · 7 mos
Cetera Investment Services LLC
October 2009 - September 2013 · 3 yrs 11 mos
Cetera Investment Services LLCBroker
October 2009 - September 2013 · 3 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - October 2009 · 0 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2009 - October 2009 · 0 mos
Banc of America Investment Services, INC.Broker
October 2008 - October 2009 · 1 yr
Banc of America Investment Services, INC.
October 2008 - October 2009 · 1 yr
Hsbc Securities (USA) INC.
October 2006 - September 2008 · 1 yr 11 mos
Hsbc Securities (USA) INC.Broker
October 2006 - September 2008 · 1 yr 11 mos
Uvest Financial Services Group, INC.
August 2005 - October 2006 · 1 yr 2 mos
Uvest Financial Services Group, INC.Broker
August 2005 - October 2006 · 1 yr 2 mos
Citicorp Investment Services
April 2004 - August 2005 · 1 yr 4 mos
Citicorp Investment ServicesBroker
May 2003 - August 2005 · 2 yrs 3 mos
Wm Financial Services, INC.Broker
January 2000 - May 2003 · 3 yrs 4 mos
State Registrations14 states
AZCADEGAILMAMNNCNVNYPATXVAWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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